Rocket Fuel Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-10: Reporting owner Snyder Stephen; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-01: Reporting owner Gerdes Henrik; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2016-10-22: Reporting owner Covington JoAnn; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-09-19: Reporting owner PITTENGER RICHARD; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-10 | Snyder Stephen Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +380,000 380,000 owned after | $1.82 exercise price | 2016-11-14 | |
| 2016-11-01 holding as of filing | Gerdes Henrik Officer (Interim CFO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.57 exercise price | 2016-11-01 | ||
| 2016-10-22 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $2.80 exercise price | 2016-10-24 | |
| 2016-09-19 | PITTENGER RICHARD Officer (SVP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +325,000 325,000 owned after | $2.70 exercise price | 2016-09-20 | |
| 2016-08-17 | Song Richard Officer (Chief Revenue Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $3.19 exercise price | 2016-08-19 | |
| 2016-06-14 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +223,533 223,533 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-14 | LEWIS JOHN JASPER Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,060 67,060 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-14 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,060 67,060 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-14 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,060 67,060 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-14 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,060 67,060 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-14 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,060 67,060 owned after | $2.24 exercise price | 2016-06-16 | |
| 2016-06-13 | Frankel Richard A. Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,796 360,796 owned after | $2.23 exercise price | 2016-06-20 | |
| 2016-06-13 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,819 10,819 owned after | $2.23 exercise price | 2016-06-20 | |
| 2016-06-10 | Frankel Richard A. Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −626,344 0 owned after | $6.58 exercise price | 2016-06-20 | |
| 2016-06-10 | Frankel Richard A. Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −98,250 0 owned after | $11.21 exercise price | 2016-06-20 | |
| 2016-06-10 | Frankel Richard A. Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −92,250 0 owned after | $51.16 exercise price | 2016-06-20 | |
| 2016-06-10 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000 0 owned after | $11.21 exercise price | 2016-06-20 | |
| 2016-06-10 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $51.16 exercise price | 2016-06-20 | |
| 2016-06-10 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 0 owned after | $16.60 exercise price | 2016-06-20 | |
| 2016-06-10 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $9.68 exercise price | 2016-06-20 | |
| 2016-03-16 | JACKSON REX S Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +414,150 414,150 owned after | $3.41 exercise price | 2016-03-17 | |
| 2016-03-10 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +234,563 234,563 owned after | $3.49 exercise price | 2016-03-14 | |
| 2016-01-19 | LEWIS JOHN JASPER Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,778 18,778 owned after | $3.12 exercise price | 2016-01-21 | |
| 2016-01-01 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $3.49 exercise price | 2016-01-05 |